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Investment Adviser Firm Summary

AMERICAN INDEPENDENT SECURITIES GROUP, LLC (CRD# 135288 / SEC# 8-66905, 801-69138)
Alternate Names: AMERICAN INDEPENDENT SECURITIES GROUP, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/27/2008
Arizona Terminated 06/03/2008
California Terminated 06/04/2008
Colorado Terminated 07/03/2008
District of Columbia Terminated 06/03/2008
Florida Terminated 06/03/2008
Georgia Terminated 06/03/2008
Idaho Terminated 06/11/2008
Indiana Terminated 06/05/2008
Kentucky Terminated 06/09/2008
Massachusetts Terminated 06/16/2008
Montana Terminated 06/03/2008
Nevada Terminated 07/08/2008
New Mexico Terminated 06/03/2008
North Dakota Terminated 06/09/2008
Ohio Terminated 06/03/2008
Oregon Terminated 06/03/2008
Texas Terminated 06/03/2008
Washington Terminated 06/03/2008
Wisconsin Terminated 06/03/2008

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alaska 06/05/2008
Arizona 05/27/2008
California 02/10/2006
Colorado 05/27/2008
District of Columbia 05/27/2008
Florida 05/27/2008
Georgia 05/27/2008
Hawaii 04/01/2010
Idaho 05/27/2008
Illinois 03/02/2011
Indiana 05/27/2008
Iowa 09/12/2008
Kansas 01/12/2018
Kentucky 05/27/2008
Maine 01/30/2009
Massachusetts 05/27/2008
Michigan 05/27/2008
Minnesota 04/05/2011
Montana 05/27/2008
Nevada 05/27/2008
New Hampshire 01/30/2009
New Mexico 05/27/2008
New York 09/19/2013
North Dakota 05/27/2008
Ohio 05/27/2008
Oregon 05/27/2008
Pennsylvania 09/19/2013
South Carolina 10/21/2008
South Dakota 08/22/2008
Tennessee 08/25/2010
Texas 05/27/2008
Utah 06/05/2008
Vermont 02/05/2009
Virginia 02/23/2012
Washington 05/27/2008
Wisconsin 05/27/2008

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser